Quest CE Releases Course on Political Contributions

MILWAUKEE – February 6, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new course to its Firm Element e-learning catalog.

The course, “FINRA Restrictions on Broker Political Contributions – Vol.2,” was developed to satisf FINRA continuing education requirements while bringing an awareness to the restrictions that the regulator has placed on political contributions. FINRA’s related rules are largely mirrored off of the SEC’s pay-to-play rule. This course serves as a reminder for brokers to report any political contributions to the firm pursuant to firm policies and procedures and FINRA Rules 2030 and 4580.

Course Topics Include:

  • Pay-to-Play
  • FINRA Rule 2030
  • Limitation on Distribution and Solicitation Activities
  • Prohibition on Soliciting Activities
  • Exceptions: Ways in Which Contributions are Allowed
  • Prohibitions as Applied to Covered Investment Pools and Exemptions
  • FINRA Rule 4580
  • Disciplinary Violations

For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.

###

About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.